Office of Research Administration Quarterly Research Administrators Meeting 10/27/2016

Transcription

1 Office of Research Administration Quarterly Research Administrators Meeting 10/27/2016

2 Agenda RCC Update Julie Cole HR Training Requirements Betsy Hames My Research Home Rebecca Brouwer Duke Apps Beth Carter OSP Update Sharon Brooks Closeout Update Darrell Queen ORA Update Michael Dickman

3 Research Costing Compliance/SOM Human Resources Update ORA Quarterly Meeting October 27, 2016

4 Agenda 4

5 IMPORTANT DATES 5 SYMPOSIUM NOVEMBER 15, 2016 AGM APPLICATIONS NOVEMBER 15; CLASSES BEGIN IN JANUARY, 2017 RAA COHORT APPLICATIONS DUE JANUARY 6, 2017 CLASS CALENDAR FOR SPRING, 2017 POSTED BY DECEMBER 1 APPLICATION DATES FOR CERTIFICATIONS POSTED THROUGH CALENDAR 2017

6 QUICK START Onboarding support for new hires in research administration Guidance and on demand training opportunities to accelerate baseline knowledge Enables additional training opportunities for <80% Prerequisite training for RAA Cohort 6

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8 MENTORING Planning underway to create a mentoring program relevant to: New Hires Quick Start RAA Cohort Community of Practitioners / Networking Assist Departments with Onboarding Features: Senior level personnel Dedicated case studies 8

9 CONTINUING EDUCATION REMINDER: Five Continuing Education credits required each Fiscal Year must include MSPAI class (Jan., 2017 start) Can be tracked through the LMS and/or the Training Tracker Website provides extensive details NEW: Working to include/offer webinars and expanded classes 9

10 Reference Website for all Continuing Education requirements 10

11 CONTINUING EDUCATION Remember, mandatory FasTrack requirements will impact meeting CE requirements 11

12 CONTINUING EDUCATION This is in process with Duke Human Resources L&OD 12

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14 TIER ADVANCEMENT PROCESS Important components of RACI initiative to provide training and career growth opportunities. Annual tier advancement for Grants and Contract Administrators Focus not only on training but competency. Manager recommendation. Any changes to tier and compensation are effective October 1. 14

15 TIER ADVANCEMENT PROCESS Employee must complete required training and manager determine readiness of employees to advance to the next tier. Training requirements must be completed by June 30 th in order to be eligible for tier advancement. Employees have 12 months to complete their RAA. An additional six months for AGM. 15

16 TIER ADVANCEMENT PROCESS Employee must complete required training and manager determine readiness of employees to advance to the next tier. Training requirements must be completed by June 30 th in order to be eligible for tier advancement. Employees have 12 months to complete their RAA. An additional six months for AGM. 16

17 TIER ADVANCEMENT PROCESS 17

18 RACI TRAINING COMPLIANCE Must complete or retain certifications Must complete annual CE requirements including MSPAI annual requirement by June 30 th deadline Failure to complete required training may result in corrective action. Several resources available. RACI and RCC websites, job descriptions, RCC, HR, and manager. 18

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20 Mobile Apps for Sponsored Research 10/18/2016

21 Duke Mobile Grant Balances & Cost Distributions Research Admin App Section

22 Research Admin App Section Separate Apps for PI and GMs App design same for PI and GM Selection based on master data assignments as PI or GM PI Apps available to those with MyResearch tab security role GM Apps available to those with Grants Management tab security role If no master data assignments as PI/GM, then no data will appear when executed WBSE only, no cost centers

23 Grant Balances App PI Detail option Direct Cost and Total Cost toggles Drilldown for greater details

24 Grant Balances App Drilldown to Category Detail Category Balances Current and Projection Balances

25 Grant Balances App Effort and Other Info Effort percentages as of last month end PI and GM assignments option Other key master data information

26 Cost Distribution App View by Cost Object Presents current cost distribution percentages Default presents by WBSE then by Employee Provides option to switch to Employee View

27 Cost Distribution App View by Employee Alternative sort option: View by Employee then WBSE Ability to see more Employee Details

28 Closeout Project Update October 27, 2016 SOM Implementation Team

29 Agenda Implementation Team Staff Update Taking Closeouts to the Polls Key Reminders October 27, 2016 SOM Implementation Team

30 Implementation Team Staff Update Welcome to Sharon Amos Welcome to Jerry Biacsi Thanks to Zarrin Brooks (now in OSP) Thanks to Paige Smith (faculty development) October 27, 2016 SOM Implementation Team

31 October 27, 2016 SOM Implementation Team

32 Question 1 (test) What should Darrell be for Halloween? Question 2 What is your biggest closeout challenge? A. Completing Section 6 B. Waiting for cost sharing entries to post C. Waiting for payroll credits to post D. Computing the project balance for the PI Attestation E. Computing the WBSE balance for the Tasklist F. Darrell October 27, 2016 SOM Implementation Team

33 Results are in! The top three challenges that we see: 1. The PI Att project balance 2. The Tasklist WBSE balance 3. Waiting for payroll activity (including adjustments and cost sharing entries) to post October 27, 2016 SOM Implementation Team

34 Reminders All (direct) activity must be posted before you submit your closeouts The balance on the Tasklist and PI Attestation (if parent) need to be completed October 27, 2016 SOM Implementation Team

35 Reminders Be sure to register for the 2016 Research Symposium - November 15, 2016 Implementation Teams Breakout Session Expedition: Closeout (Afternoon) October 27, 2016 SOM Implementation Team

36 Questions?

37 ORA News and Reminders

38 ORA Personnel Update Arrivals Lauren Carey Research Administrator, Grants Team Andrew Johnstone Contracts Team Openings Research Administration Manager Grants Departures Contracts Team

39 Contracts Team to OCRC Effective 11/1/16 Contracts team virtually transitioning to OCRC No immediate changes to workflow or processes

40 Contracts Team to OCRC Federal Contracts Federal grants, foundation/non profit grants, and state contracts Responsible for agreement negotiation and OCRC signature Issuing subs Budget changes at contracting stage SPS administration Training sessions and/or programs if or when applicable Continue to send agreements to ORA Contracts Management Contracts team related website content OCRC website Includes SIR

41 Human Subjects (HS) on Subs Responsibility of institution to draft HS subagreements that cover: Research related subject injury HIPAA privacy and security issues Data transfers/material transfers Insurance/liability terms FDA regulations on clinical trials To draft the appropriate sub we review: HS answer on sub face page SOW Budget justification eirb information

42 Human Subjects on Subs New focus on HS information at NIH and Federal Demonstration Partnership NIH Notice NOT OD separate FOA for clinical trials FDP New FDP Fixed Price Clinical Trial Subaward Agreement Revised Attachment 2 for standard FDP template contains HS data fields New fields on the SIR to request HS information. Grant managers may need to consult with CRU/PI to obtain answers to SIR questions. When in doubt, ask!

43 Human Subjects on Subs Duke's Federal Wide Assurance (FWA) requires that we provide oversight for all human research protection activities at all sub sites, when a Duke investigator serves as the primary grant awardee on a multi site study funded by the U.S. Government. Therefore a protocol is required at Duke, even if the HS activity is only happening at the sub institution. Please be sure to mark the Duke face page yes at pre award stage. For subs with HS activity, eirb should indicate yes to the multi site study question in Section 5. A copy of the sub s protocol approval should be uploaded in eirb.

44 SOM Maximum Effort Policy 95% (11.4 ca) for all faculty 90% for all faculty in administrative roles Includes tenure and nontenure See John D4

45 SOM F&A Waiver Guidelines Revised August 2016 PCORI Sponsored Projects at 40% Reminder No waiver required if implies waiver required if Waiver is required if implies waiver not required if delines.pdf

46 Admin Action Request Changes Removed limit on attachments Issues attaching documents Double check attachments are actually attached before submitting We may reach out if we get an error Working with our vendor

47 Total Professional Effort (TPE) Reminder Statement regarding TPE must be included in ALL applications Faculty <50% Duke appointment Calculator on ORA website Auto calculates TPE % Includes standard verbiage

48 Total Professional Effort (TPE) Reminder

49 SPS Related Updates

50 SPS Web 7.8 Better handling for timeouts and unsaved changes 1. Users will now be given the option to reconnect to the database if they are timed out. Once reconnected, work should pick up where it left off. Unsaved changes should no longer be lost! Proposal Search page 2. Now display additional search criteria for the Sponsor field (e.g., Prime Sponsor, option to Include Children). 3. Can clear the Sponsor field without clearing other entered criteria. 4. Can pull back all proposals for the selected sponsor and all of its children (e.g., can pull back all proposals for NIH and all its children). 5. Proposals are now shown in order from newest to oldest (you re welcome Michael)!

51 SPS Web 7.8 Main notebook Sponsor page 6. Added a Prime Sponsor group box that can be used to add, change or remove a proposal s Prime Sponsor and Prime Sponsor Agency ID. 7. Moved the Agency/Sponsor Program question to the bottom of the page, changed its label to Is this proposal in response to an Agency/Sponsor Program (e.g. K08, K23, T32) and added a hover tip to clarify when and how to use the field. 8. Changed the handling of the Agency/Sponsor Program field so that it will search for matching programs for both the Sponsor and Prime Sponsor. 9. Generate an error if the Sponsor and Prime Sponsor are the same (e.g., both are set to NIH). 10. Generate an error if the Sponsor and Prime Sponsor are in the same family (e.g., Sponsor is set to National Cancer Institute and Prime Sponsor is set to National Institutes of Health).

52 SPS Web 7.8 Budget notebook 11. If a Prime Sponsor has been selected, the prime sponsor will now be used to drive business rules (i.e., Prime Sponsor will be used to determine default F&A Rate and Base and applicable fringe rates): Added a Prime Sponsor Mandated column to the Default F&A Cost Information group Use the Prime Sponsor to set the default F&A Rate/Base in the Budget Period Definition dataset (if the Prime Sponsor Program or Prime Sponsor have a Rate that differs from negotiated rate) On the Salary Information page, now use the Prime Sponsor (if one exists) to determine whether to use the federal or non federal fringe rates

53 Dept. Pre Award Liaison PAL Lets ORA know who to contact Not just pre award Editable field (validate all tab) Should be continually updated Validate all tab of SPS

54 Facepage ORG Not to be confused with PI Duke Org and Owning Duke Org SPS defaults to PI Duke Org Impacts NIH dept rankings Watch out for centers and institutes (don t get NIH credit) Owning Duke Org governs SPS access

55 Due Dates Should be Duke s sponsor s due date Example of NIH R01 due date Even if it falls on weekend What if Duke is a sub on NIH R01? Should use date sponsor needs sub documents

56 RSSA Common Mistakes Purchase not against restricted WBSE Order is <$2500 AND Doesn t Involve patient care or access to patient information OR printing or design work OR temporary staffing OR travel agency services OR construction RSSA not attached Expense not coded to or RSSA has more than one award mechanism The funding is from a contract which is not fully executed The correct award identifiers are not included on the RSSA The RSSA does not fall within the period of performance of the award An approved FCOI Award is not attached, if applicable RIO did not approve the FCOI Award or Management Plan, if applicable Rider A Is not attached Does not include a detailed Scope of Work SOW does not agree to the Terms and Conditions of the Award or Contract Costs are unallowable Costs not budgeted or justified in the award or contract Costs not reasonable in relation to the budget Sponsor approval not obtained, where needed Costs are not properly allocated to the project.

57 Sponsor Related News

58 NIH Funding Rankings NIH FY16 FY15 Duke SOM was #11 in NIH funding with 285.3M Preliminary Data FY16: Duke SOM is #8 with 337.7M

59 era Commons Prior Approval Module

60 era Commons Prior Approval Module NOT OD Optional Electronic Method to Request Withdrawal of Applications from Consideration for Funding Applicant organizations are now able to submit requests to withdraw a processed application after the two day viewing window has passed using the era Commons Prior Approval module NOT OD Optional Electronic Submission Method to Request to Submit An Unsolicited Application That Will Exceed $500,000 In Direct Costs Requests to submit an unsolicited application that will exceed $500,000 in direct costs may submit this request electronically through era Commons, under a new Prior Approval Module

61 Request Withdrawal of Applications from Consideration for Funding From the Prior Approval landing screen, select Withdrawal Request from Request type: and click Go.

62 Request Withdrawal of Applications from Consideration for Funding PI will see grants that are eligible for withdrawal on which they are the contact PI Select one grant application by clicking the radio button on the left. Select the Initiate Withdrawal Request button to initiate the withdrawal request

63 Request Withdrawal of Applications from Consideration for Funding The PI must provide justification and route to SO/ORA to submit

64 Request Withdrawal of Applications from Consideration for Funding The Confirmation screen displays. Enter comments in the Comments box to provide information to the next reviewer. Click the Route to SO button. The system will notify the recipient of a request that is pending their action. If the Routing is successful, a message displays on the Prior Approval Request screen.

65 Request to Submit An Unsolicited Application That Will Exceed $500,000 In Direct Costs After initial communication with the NIH, a PO may open up a request form for the Principal Investigator (PI) in era Commons. From the Prior Approval landing screen, select List my Requests

66 Request to Submit An Unsolicited Application That Will Exceed $500,000 In Direct Costs Select the grant you with to initiate the request for The system will initiate the request and redirect the user to the Modify Request screen.

67 Request to Submit An Unsolicited Application That Will Exceed $500,000 In Direct Costs The following required fields must be populated in order to continue the process: Project Title FOA Anticipated Submission Date Justification The PI will complete the form and submit it back to the initiating PO for review ORA review not required

68 NOT OD Projected FY 2017 Stipend Levels for Postdoctoral Trainees and Fellows Effective 12/1/16 Reflect recognition of the significant contributions of postdoctoral researchers to the NIH, AHRQ, and HRSA missions Align with the spirit of the U.S. Department of Labor s (DOL) recently issued revisions to the rules on paid overtime under the Fair Labor Standards Act (FLSA)

69 NOT HL NHLBI Policy Concerning Mentored Career Development (K08 and K23) Awards: Percent Effort Applications Submitted for Due Dates On or After February 12, 2017 Medical specialties that require significant clinical activity to request less than the required 75% May not request less than 50% effort and must provide a justification clearly stating the reasons for the reduced effort

70 NOT OD New Policy Eliminates Most Appendix Material for NIH/AHRQ/NIOSH Applications Submitted for Due Dates On or After January 25, 2017 For applications proposing clinical trials (unless the FOA provides other instructions for these materials): Clinical trial protocols Investigator's brochure from Investigational New Drug (IND), as appropriate For all applications: Blank informed consent/assent forms Blank surveys, questionnaires, data collection instruments FOA specified items

71 NOT OD Notice of Change in Animal Welfare Assurance Numbering System Effective July 25, 2016 OLAW implemented a new Animal Welfare Assurance database that utilizes a new numbering format (D ) Old numbers (A000 01) will be retained for the life of the Assurance Institutions with an Assurance will receive a new number and may use either the new or old Assurance number in communications with NIH Duke s current number: A expires July 2017 Duke s new number: D

72 The Cover Letter should be used for any narrative information you want to relay to our receipt and referral staff, such as: Reason for late application Explanation of why a Subaward isn t active in all periods of the proposed project Statements regarding agency approval documents (e.g., requests over $499,999) Intent to submit a video as part of the application (NOT OD ) Indication that the proposed study will generate large scale human or non human genomic data (NOT OD and NOT OD ) NIH receipt and referral staff are only looking for assignment requests in the PHS Assignment Request Form, so don t include them in the Cover Letter going forward Requests made in the PHS Assignment Request Form may be used to expedite the processing and assignment of applications NIH does not guarantee to honor requests, though they try to do so whenever possible The Cover Letter and PHS Assignment Request Form are visible to only a small number of NIH staff and are never seen by reviewers to applyapplication guide/forms d/general/g.600 phsassignment request form.htm NIH Cover Letters and PHS Assignment Request Form

73 Proposal Tricks and Treats

74 Subaward Packets PI wants to submit application that includes subaward Subawardee required to complete R&R Subaward Budget Attachment(s) Form

75 Subaward Packets

76 Subaward Packets

77 Professional Development and Training Update

78 Upcoming Training Opportunities Conferences Duke Research Administration Symposium Durham, NC; November 15, 2016 NCURA Region III Savannah, GA; May 6 10, 2017 SRA Southern/Midwest Section Nashville, TN; May 7 10, 2017 NIH Seminar Chicago, IL; May, 2017

79 LMS Registration & Credit If you are not on the roster &/or signed up less than 2 business days prior to our meeting, give us 2 business days to add you to the system (remember to sign in legibly & with Net ID) Those who did not sign in will be listed as no shows in LMS within 3 business days

80 LMS Credit Qtrly Mtg & Survey To receive credit, each person who signed in will be sent a Qualtrics By Invitation Only link This link can be only be used once per person (Qualtrics records your information) Please put some thought into your responses we need your input Note: The credit should be listed in LMS within 14 days after survey is completed